Filing Details
- Accession Number:
- 0001415889-24-026426
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-11-08 16:08:16
- Reporting Period:
- 2024-10-22
- Accepted Time:
- 2024-11-08 16:08:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1943896 | Rubrik Inc. | RBRK | Services-Prepackaged Software (7372) | 464560494 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 2020220 | Kumar Kiran Choudary | C/O Rubrik Inc. 3495 Deer Creek Road Palo Alto CA 94304 | Chief Financial Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2024-10-22 | 1,000 | $0.00 | 418,760 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2024-10-22 | 11,800 | $38.49 | 406,960 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2024-11-06 | 1,000 | $0.00 | 407,960 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2024-11-06 | 1,800 | $43.15 | 406,160 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Stock Option (Right to Buy) | Disposition | 2024-10-22 | 1,000 | $0.00 | 1,000 | $7.99 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2024-10-22 | 1,000 | $0.00 | 1,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2024-10-22 | 1,000 | $0.00 | 1,000 | $0.00 |
| Class B Common Stock | Stock Option (Right to Buy) | Disposition | 2024-11-06 | 1,000 | $0.00 | 1,000 | $7.99 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2024-11-06 | 1,000 | $0.00 | 1,000 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2024-11-06 | 1,000 | $0.00 | 1,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 95,450 | 2028-09-17 | No | 4 | M | Direct | |
| 1,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 94,450 | 2028-09-17 | No | 4 | M | Direct | |
| 1,000 | No | 4 | M | Direct | ||
| 1,000 | No | 4 | C | Direct |
Footnotes
- Due to an administrative error, the previous Forms 4 filed on October 29, 2024, and November 5, 2024, inadvertently overstated the Reporting Person's Class A common stock by 10,800 shares, which were sold on October 22, 2024 and reported on this Form 4. The total number of shares held by the Reporting Person has been updated on this Form 4.
- This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, adopted July 15, 2024
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.86 to $38.82 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.98 to $43.83 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separated price within the range set forth in this footnote.
- 1/4 of the shares subject to the option vested on August 20, 2019, and 1/48 of the shares vested monthly thereafter.
- Due to an administrative error, the previous Form 4 filed on October 29, 2024 inadvertently overstated the Reporting Person's shares subject to outstanding stock options by 1,000 shares, which were exercised on October 22, 2024 and reported on this Form 4. The total number of shares subject to outstanding stock options held by the Reporting Person has been updated on this Form 4.
- Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock upon the sale or transfer of such share of Class B Common Stock, subject to certain exceptions, and in certain other circumstances described in the Issuer's amended and restated certificate of incorporation. Each share of Class B Common Stock will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.
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